http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htmWalking Wounded?Two brokers tell their firms that some clients are disabled. Why? Well, it’s one way to get lower sales charges. It’s also a way to get in trouble. Still --- same violation results in a $20,000, requalification, and 2-year suspension for one respondent, but the other only draws a $1,000 fine and 4-month suspension.Edward Martin VanGrouw, E9B2003026301/February 2008 and Harvey Mitchell Schwartz, E102004083703/February

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htmWhere’s It Say That?FINRA cites a firm because it failed to report the "most egregious problem as alleged in customer complaints." Only problem is, there is no such rule requiring that disclosure.Legend Merchant Group, Inc.AWC/20060036818-01/February 2008

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htmBroker Can Ya Spare a Dime?Okay, so brokers are prohibited from borrowing money from customers, but bet you didn’t know that also can’t lend. Daniel M. MyersAWC/E9B2005014201/February 2008

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htmMortgaging Her FutureEmployee overstated her salary, length of service, and title on an employment verification form she sent in connection with a home mortgage loan. Candice Elicia HallAWC/2007008809001/February 2008

http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2008.htmCheck OutRead about the poor guy who gave his employer an NSF check and got suspended and fined for his efforts. Gregory GibalaAWC/2007008400401/February 2008

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